Chapter 31. Separations by Other than Retirement (Natures of Action 312, 317, 330, 350, 351, 352, 353, 355, 356, 357, 385, and 390)

Transcription

1 31-1 Chapter 31. Separations by Other than Retirement (Natures of Action 312, 317, 330, 350, 351, 352, 353, 355, 356, 357, 385, and 390) Contents 1. Coverage Definitions Selection of Legal Authority Documenting Reason(s) for Separations Effective Dates Instructions Job Aid Actions When an Employee Separates Tables 31-A. Documenting Resignations B. Documenting Separations Other than Resignations and Retirements C. Codes for Required Remarks D. Codes and Corresponding Remarks Page 31-2 is blank.

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3 31-3 Chapter 31. Separations by Other than Retirement 1. Coverage. a. Separations are actions that end employment with an agency. This chapter covers separations by other than retirement. Actions covered include: resignations; terminations; removals; separations due to reduction in force; separations to enter the uniformed services; and deaths. It includes those involuntary separations under which the employee may be eligible for discontinued service retirement, or MRA+10 retirements when the employee chooses to postpone the MRA+10 annuity commencing date beyond 31 days after separation. (See Chapter 44 and 42, respectively, of HUThe CSRS and FERS HandbookUH.) b. This chapter does not cover: retirements (Chapter 30); movements from one part of an agency to another (Chapter 14); changes in the human resource system serving the employee (not an official personnel action); or details to a State or local government, to an institution of higher learning, to another agency, or to an international organization (Chapter 14). 2. Definitions. a. Appeal Rights An appeal right is an opportunity provided by law, Executive Order, regulation, or agency procedures to challenge a proposed action by presenting evidence and/or calling witnesses before an agency official who has the authority to modify or rescind the proposed action. For purposes of this chapter, the right to challenge an action through procedures designed to handle complaints of discrimination or violation of merit system principles is not an appeal right. b. Resignation a separation initiated by an employee. c. Resignation ILIA (in lieu of involuntary action) a separation initiated by the employee under circumstances that meet the definition of involuntary separation in Chapter 44 of HUThe CSRS and FERS HandbookUH. d. Removal a separation from Federal service initiated by the agency, the Office of Personnel Management or the Merit Systems Protection Board under parts 359, 432, 731, or 752 of title 5, Code of Federal Regulations; section 1201 of title 5, U.S. Code; or comparable agency statutes or regulations. (Note: This Chapter covers actions that remove an employee from the agency. Most removals from the Senior Executive Service under part 359 result in conversion to an appointment outside the Senior Executive Service. These conversions are covered in Chapters 9-11.) e. Separation-Appt In (name of entity)-a separation when an employee leaves a Federal agency to accept employment with a non-federal Government entity that takes over his or her Federal functions AND the employee will continue to receive Federal benefits. f. Separation-US (uniformed services) a separation action initiated by the agency when the employee enters on duty with the uniformed services. (Note: This action is not appropriate when an employee fails to return, and did not provide written notice of intent not to return. In that case, he or she is subject to the policy and disciplinary

4 31-4 THE GUIDE TO PROCESSING PERSONNEL ACTIONS action the agency would normally apply for a similar absence without approval.) g. Separation-RIF a separation from the agency under parts 351 or 359, title 5, Code of Federal Regulations, or as a consequence of reduction in force. h. Termination-Appt In (agency) a separation action initiated by either the employee or the agency when the employee (or a group of employees) moves from one agency to another agency. i. Termination during Prob/Trial Period an agency-initiated separation of an employee who is serving an initial appointment probation or a trial period required by civil service or agency regulations. j. Termination-Exp of Appt a separation action initiated by the agency to end employment on the not-to-exceed date of a temporary appointment. k. Termination-Sponsor Relocating an action to document the separation of a Department of Defense employee who submits a resignation to accompany a military or civilian sponsor to a new duty station. 3. Selection of Legal Authority. a. Meaning of equivalent to CS Regs. For some actions covered by this Chapter, the legal authority will depend on whether the action is being taken under civil service laws and regulations, under agency procedures that are equivalent to those required under civil service laws and regulations, or under other procedures. To select the legal authority, you must know what procedures were used. If you are not sure, ask the person who approved the action. You cannot select the correct authority without knowing the procedures used to effect the action. b. Agency-Unique Authorities. If the action is being taken under an authority that is unique to your department or agency, cite that authority instead of the authority and code shown in this Chapter. The Office of Personnel Management must have issued an authority code before an agency-unique authority can be used instead of the authorities shown in this Chapter. c. Actions for Which the Agency Must Select the Authority. For some actions you will be given a legal authority code and told to cite the appropriate authority. (1) If a specific law, Executive Order, regulation, or agency directive was the basis for the action, cite it in the legal authority block on the Standard Form 52/50, along with the legal authority code shown in the table. (2) When the employee is serving on a temporary appointment and no other law, Executive Order, regulation, or agency directive applies to the action, cite the appointment authority in the legal authority block on the Standard Form 52/50, along with the legal authority code shown in the table. (3) For situations not described in paragraphs (1) and (2), cite 5 U.S.C. 302 in the legal authority block on the Standard Form 52/50, along with the legal authority code shown in the table. 5 U.S.C. 302 is the general authority for an agency head to delegate authority to take actions necessary to carry out personnel actions. Cite it only in those rare instances when no other authority is appropriate for the action.

5 Documenting Reason(s) for Separations a. Need for Remarks. Most of the actions in this Chapter require remarks that document the reasons for the action. These remarks are used to determine future employment eligibility and eligibility for various benefits, including unemployment compensation. When a former employee applies for unemployment compensation, the State employment security agency will use the nature of action and the remarks to adjudicate the claim. Inadequate or incomplete information about the separation may result in delays or errors in processing such claims. b. Employee's Reason for Resignation. (1) Each person who resigns should be asked to do so in writing. Part E of the Standard Form 52 is one option for submitting a written resignation. When the employee resigns orally, try to obtain written confirmation. If this is not possible, ask the person who received the oral resignation to document it in a memorandum for the record. (2) In the remarks section of the Standard Form 50, quote in full the employee's reason for resigning. If the employee s reason is so lengthy that it will not fit in the space available, summarize it. The entire reason will remain a matter of record because the resignation is a long term Official Personnel Folder document. c. Agency Comments Regarding Employee's Reason for Resignation Agency Finding. (1) Employees without appeal rights. When the employee is serving an initial appointment probation or a trial period required by civil service or agency regulations, or when employee is serving under an appointment that does not afford appeal rights, NO agency comments or findings regarding the employee's resignation may be placed on the Standard Form 52, Standard Form 50, in the employee's Official Personnel Folder, or in the Employee Performance Folder. (2) Employees with appeal rights. Agency findings should be documented on the resignation Standard Form 50 only when the employee has appeal rights and has been notified in writing of an agency action BEFORE the resignation was submitted. Agency findings should be documented if the employee was notified of: - a proposed or pending disciplinary or adverse action; - a proposed or pending position change due to failure to complete a supervisory/managerial probationary period successfully; - action to withhold a within-grade increase; or - proposed removal from the Senior Executive Service. Unless the employee was notified in writing BEFORE submitting the resignation, do NOT record any adverse agency findings on the Standard Form 52, Standard Form 50, in the Official Personnel Folder or the Employee Performance Folder. d. Agency-Initiated Separations. (1) Employees without appeal rights. When an employee who is serving on an appointment that does not afford appeal rights is separated for conduct and/or performance reasons, NO agency reasons for or comments regarding the action may be placed on the Standard Form 52, the

6 31-6 THE GUIDE TO PROCESSING PERSONNEL ACTIONS Standard Form 50, in the Official Personnel Folder or Employee Performance Folder. (2) Employees with appeal rights. When an employee serving on an appointment that does afford appeal rights is separated by the agency, the agency must summarize the reason(s) for the action in the Standard Form 50 remarks. The reason(s) must be consistent with any written reason(s) previously given the employee as the basis for his or her separation. e. Unemployment Compensation Claims. An agency may have factual information that would impact on a former employee s unemployment compensation claim but is not documented on the separation Standard Form 50. In these cases, the agency may retain that information in a subject file that is separate and apart from the employee's personal records or any other records that are filed by and retrieved by employee name or employee identifier (such as an employee number, a payroll number, or Social Security Number). These files are retained for two years from the effective date of the separation. 5. Effective Dates. All separations are effective at the end of the day (midnight) unless an earlier time is indicated on the Standard Form 50. a. Termination-Appointment In. When the separation is to move to other Federal employment without a break in service, the effective date should be the day immediately preceding the day the employee entered on duty in the new employing agency. Do not process the Termination-Appt In (agency) action before receipt of evidence that the employee actually has been appointed in the other agency. Accept as evidence of the appointment only: (1) a copy of the Standard Form 50 or list form of notice by which the other agency appointed the person; or (2) a copy of the other agency's appointment Standard Form 52 showing the appointment date and the appointing official's signature. b. Termination during probationary period. The initial appointment probationary period ends at the end of the employee's tour of duty on the last work day of the probationary period. If management decides to terminate the employee during the probationary period, the Standard Form 50 must be effective on a day prior to the last day of the probationary period, or at a specific time of day before the end of the employee's work day on the last day of the probationary period. c. Other separations. Resignations are effective on the date specified by the employee. Other separations are effective on the date set by the agency. When advance notice periods are required by law or regulation (for example, under adverse action procedures), the separation may not be effective prior to the last day of any notice period. d. Two actions proposed for the same date. When two actions, such as a termination during probationary period and a resignation, are proposed for the same date but one specifies an earlier time, process the one with the earlier time. When two actions are proposed for the same date and time, process the one that was submitted first.

7 31-7 Example 1: On July 12th, a supervisor submits a request to terminate a probationary employee, effective July 16th. On July 13th, the employee submits a resignation to be effective at the end of the workday on July 16th. The agency's action would be effective at midnight since an earlier time was not specified. Because the actions would be effective at different times, and because the resignation would be effective first, the agency processes the resignation instead of the termination. Example 2: On April 10th, the agency notifies the employee of its decision to remove him effective May 10th. On April 12th, the employee submits a resignation which is also effective on May 10th. Because neither request specifies an earlier time, each would be effective at midnight on May 10th. Since the removal was submitted first, the agency processes the removal instead of the resignation. 6. Instructions. a. Follow instructions in Chapter 4 to complete the Standard Form 52 and Standard Form 50. b. Select the nature of action and authority from the appropriate table: Use Table 31-A for resignations; and Use Table 31-B for separations other than resignations. c. Use Table 31-C to select codes for remarks required for the action. Use Table 31-D to translate remarks codes into the remarks. d. Also enter any additional remarks codes/remarks that are required by your agency's instructions or that are necessary to explain the action. e. An employee may receive a withingrade increase (WGI) while in nonpay status when the WGI becomes due during the period of nonpay time that is creditable for that step. If the WGI was not processed before the separation, show the step and salary to which employee was entitled in blocks 19 and 20 of the separation Standard Form 50. Use remark P16 to explain that the employee met requirements for the WGI. f. Follow your agency's instructions to process the action and distribute the Standard Form 50. g. Check HUThe Guide to Personnel RecordkeepingUH to decide what documents submitted or created in connection with the action should be filed in the employee's Official Personnel Folder. Follow your agency's instructions to dispose of those not filed in the Folder. >h.< Follow instructions in HUThe Guide to Personnel RecordkeepingUH to transfer the Official Personnel Folder. After you dispatch it, if you find any longterm (right side) records that belong to the Folder, send them immediately to the address to which the Folder was sent. Be sure employee's full name, social security number, and date of birth are on each form or document. Page 31-8 is blank.

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9 31-9 Job Aid Actions When an Employee Separates Instructions: This list is intended as a reminder of actions that may be required when an employee separates. Follow your agency procedures to be sure that all required actions are taken. If the employee Separates for a reason other than death Is enrolled in a health benefits plan Has Federal Employees Group Life Insurance (FEGLI) coverage Is covered by the Civil Service Retirement System or the Federal Employees Retirement System Was receiving or was entitled to receive severance pay based on a previous separation May be entitled to severance pay based on this separation May be eligible for consideration under the agency s reemployment priority list, agency career transition assistance plan, or the interagency career transition assistance plan Was earning leave Then On or before the separation date, give the employee a completed Standard Form 8 showing the full address of the payroll office maintaining the records. Follow instructions in the HUFederal Employees Health Benefits Handbook for Personnel and Payroll OfficesUH. Follow instructions in HUthe Federal Employees Group Life Insurance Program - A Handbook for Employees, Annuitants, Compensationers and Employing OfficesUH. Follow instructions in HUThe CSRS and FERS Handbook for Personnel and Payroll OfficesUH. Send a copy of the separation Standard Form 50 to the agency responsible for the severance pay fund so they will know to begin or resume any required payments. Follow agency procedures. (Refer to title 5, Code of Federal Regulations, part 550.) Follow agency procedures. (Refer to title 5, Code of Federal Regulations, part 330.) Follow agency procedures for processing lump sum payments and preparing the Standard Form 1150, Record of Leave Data. Page is blank.

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11 Chapter 31. Separations by Other than Retirement Table 31-A. Documenting Resignations (See Note 1 of this table) Rule If Resignation is And Then NOAC is NOA Is Auth Code Is Authority Is 1 While employee is serving an initial appointment probation or a trial period required by civil service or agency regulations 317 Resignation RUM Reg Other 2 While employee is serving under an appointment that does not afford an appeal right (see Note 2 of this table) 3 While employee is serving a probationary period in the Senior Executive Service 4 After receiving notice of proposed or pending adverse action based in whole or in part on employee's misconduct or delinquency Action is proposed under 5 U.S.C., chapter 75 5 Action is proposed under agency procedures equivalent to 5 U.S.C., chapter 75 6 Action is proposed under other procedures not described in Rules After receiving notice of proposed or pending position change as result of failure to satisfactorily complete supervisory (or managerial) probationary period RQM RRM RSM R6M Reg CAA (see Note 3 of this table) Reg EAA (see Note 3 of this table) Reg OAA (see Note 3 of this table) Reg Prob

12 31-12 THE GUIDE TO PROCESSING PERSONNEL ACTIONS Table 31-A. Documenting Resignations (See Note 1of this table) Rule If Resignation is And 8 After receiving notice of proposed removal or placement out of the Senior Executive Service for unacceptable work performance during probation Then NOAC is NOA Is Auth Code Is Authority Is 312 Resignation-ILIA R6M Reg Prob 9 After receiving notice of proposed placement out of the Senior Executive Service because of failure to be recertified 10 After receiving notice of proposed placement out of the Senior Executive Service for less than successful performance following completion of Senior Executive Service probation 11 After employee receives written notice of proposed or pending position change, demotion, or termination for Action is proposed under 5 CFR part unacceptable or unsatisfactory work Action is proposed under agency performance not covered under Rules procedures equivalent to those 1-10 under 5 CFR part Action is proposed under procedures not described in Rules After employee receives written notice that position will be contracted out under Office of Management and Budget Circular A-76 R9M R7M R8M RUM RTR Reg Recert Reg Perf Reg Eq Perf Reg Other Reg (A-76)

13 Rule If Resignation is And 15 In lieu of proposed or pending reduction in force action or after written notification that position is being abolished Chapter 31. Separations by Other than Retirement Table 31-A. Documenting Resignations (See Note 1of this table) Then NOAC is NOA Is Auth Code Is Authority Is When Rule 14 does not apply 312 Resignation-ILIA RTM Reg RIF 16 After receiving notice of a new assignment as part of an established rotation policy within the agency or that was directed by the agency (see Note 4 of this table) Assignment is out of commuting area and was not provided for at time of appointment RXM Reg Relo 17 After receiving written notice of a new assignment as a result of his or her job being contracted out under Office of Management and Budget Circular A-76 RPR Reg (A-76 Assignment) 18 After receiving notice of a new assignment as a result of his or her job function being moved outside of employee's commuting areas (see Note 4 of this table) New assignment is not the result of contracting out under Office of Management and Budget Circular A-76 RWM Reg Reas 19 In lieu of an involuntary action described in Chapter 44 of HUThe CSRS and FERS HandbookUH, and not covered in Rules 1-18 Employee has received written notice of the proposed action RPM Reg

14 31-14 THE GUIDE TO PROCESSING PERSONNEL ACTIONS Table 31-A. Documenting Resignations (See Note 1of this table) Rule If Resignation is And 20 In lieu of proposed or pending adverse action that is NOT based on employee's misconduct or delinquency and is not covered by Rules 1-19 (see Note 5 of this table) Action is proposed under 5 U.S.C., chapter Action is proposed under agency procedures equivalent to those under 5 U.S.C., chapter In lieu of proposed or pending adverse action that is NOT based on employee's misconduct or delinquency and is not covered by Rules 1-19 (see Note 5 of this table) 23 Under conditions not covered in Rules 1-22 (see Note 6 of this table) Action is proposed under other procedures not described in Rules 1-21 Then Auth NOA Is NOAC is Code Is Authority Is 312 Resignation-ILIA RQM Reg CAA (see Note 3 of this table) RRM RSM Reg EAA (see Note 3 of this table) Reg OAA (see Note 3 of this table) 317 Resignation RPM Reg NOTES: 1. When employee is leaving your agency to accept employment without a break in service in another agency, follow the instructions in Table 31-B to process the action as a 352/Termination-Appt In (agency). When the employee is moving to another appointment in your agency without a break in service, process the action as a conversion to the new appointment, not a resignation. 2. See Regulation (c) for a list of the employees who are covered by Part 752 of the civil service regulations and, therefore, have appeal rights. If the employee is serving on an appointment that is not listed in Regulation (c), such as on an Appt NTE in the competitive service, then the employee has no appeal rights. 3. The suffix CAA stands for in lieu of action proposed under Civil Service adverse action procedures; the suffix EAA stands for in lieu of action proposed under agency procedures that are equivalent to the Civil Service adverse action procedures; and the suffix OAA stands for in lieu of action proposed under other adverse action procedures. 4. If an employee declines a reassignment and the agency issues a notice of proposed separation that is then followed by the employee's resignation, use Rules Use this rule only when the employee has been notified in writing of the proposed action. 6. If a Department of Defense employee is resigning to accompany a sponsor overseas, use Table 31-B.

15 Chapter 31. Separations by Other than Retirement Table Summary: Table 31-B. Documenting Separations other than Resignations and Retirements If Action is based on Go to Rules Abandonment of position 61 Appointment in another agency 2-12 Conduct Conduct and Performance Contracting out of Employee's Position 17 Death 1 >Death in the Line of Duty 64< Directed Reassignment, failure to accept Expiration of Appointment 14 Failure to qualify for conversion Function or activity moves, employee declines to accompany Lack of work/funds when employee is on a temporary appointment Merit Systems Protection Board instruction 53 National security, directed by head of agency 56 Office of Personnel Management instruction Performance Pre-appointment conditions Reemployed annuitant, employee being a 62 Reduction in Force (RIF) Relocation of a Department of Defense Sponsor 20 Uniformed Services, duty with 13 Circumstances not listed above Page is blank.

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17 Chapter 31. Separations by Other than Retirement Table 31-B. Documenting Separations Other than Resignations and Retirements Rule If Separation Is And 1 Because of death of employee >(see note 5 of this table)< 2 Because employee moves without break in service from one Senior Executive Service position to another in a different agency (see Note 1 of this table) 3 When an Senior Executive Service (SES) appointee who has guaranteed placement rights is being appointed to a non-ses position in another agency as a result of action initiated by the appointing officer Action is based on unacceptable performance during the Senior Executive Service probationary period 4 Action is based on less than fully successful performance following the Senior Executive Service probationary period 5 Action is based on reduction in force 6 Action is based on failure to be recertified 7 Because employee has accepted a position in another Federal agency without a break in service under circumstances not covered in Rules 2 through 6 (see Notes 1 and 2 of this table) Separation is because function moves from one agency to another 8 Employee accepts job at a higher grade Then NOAC Auth Code NOA Is Authority Is Is Is 350 Death (No entry required) 352 Termination- Appt In (Agency) VCR 5 U.S.C VDJ VCS VCT VCW 5 U.S.C. 3594(a) 5 U.S.C. 3594(b)(1) 5 U.S.C. 3594(b)(2) 5 U.S.C. 3594(b)(3) PDM Reg DFM Cite specific authority for action (i.e., 5 CFR part 715 Prom, or an agency specific authority)

18 31-18 THE GUIDE TO PROCESSING PERSONNEL ACTIONS Table 31-B. Documenting Separations Other than Resignations and Retirements (Continued) Rule If Separation Is And Then NOAC Is 9 Because employee has accepted a position in another Federal agency without a break in service under circumstances not covered in Rules 2 through 8 (see Notes 1 and 2 of this table) Employee accepts a job at a lower grade job 10 Employee accepts a job at the same grade or in a different pay system NOA Is 352 Termination- Appt In (agency) Auth Code Is DKM DBM Authority Is Cite specific authority for action (i.e., 5 CFR part 715 CLG, or an agency specific authority) Cite specific authority for action (i.e., 5 CFR part 715, or an agency specific authority) 11 To transfer to an international organization 12 To accept appointment with the American Institute in Taiwan 13 Because employee is entering on duty with the uniformed services Employee has provided written notice of intent not to return to a position of employment with the agency or elects to be separated in lieu of Leave Without Pay PZM Reg ZPM P.L Separation-US Q3K 5 CFR part Effected on the Not-to-Exceed date of a temporary appointment or when employee has worked the number of days or hours to which the appointment was limited 355 Termination-Exp of Appt (No Entry Required)

19 Chapter 31. Separations by Other than Retirement Table 31-B. Documenting Separations Other than Resignations and Retirements (Continued) Rule If Separation Is And Then NOA Is Auth NOAC Is Code Is Authority Is 15 Under reduction-in-force (RIF) procedures Employee is in the Senior Executive Service 356 Separation-RIF VDK 5 U.S.C Employee is in the competitive service or the excepted service PNM Reg Due to contracting out of functions under Office of Management and Budget Circular A-76 PNR Reg (A-76) 18 Because of lack of work, lack of funds, or ceiling limitations when employee is on a competitive service appointment limited to one year or less Action is not effected under reduction-in-force regulations 357 Termination MUM Reg Because of lack of work, lack of funds, or ceiling limitations When employee is on a temporary appointment that is not described in Rules 1-18 UYM (Enter authority under which employee was appointed) 20 The result of a Department of Defense (DoD) employee submitting a resignation to accompany sponsor military or civilian sponsor to a new duty station (see Note 3 of this table) Sponsor is on active duty in the military or is a Department of Defense civilian employee who (1) signed a mobility agreement which requires as a condition of employment, accepting an assignment anywhere in the world at management's request, or (2) relocates to or from an assignment at a duty station outside the continental United States. 351 Termination- Sponsor Relocating RPM Reg

20 31-20 THE GUIDE TO PROCESSING PERSONNEL ACTIONS Table 31-B. Documenting Separations Other than Resignations and Retirements (Continued) Rule If Separation Is And Then NOA Is Auth NOAC Is Code Is Authority Is Because employee declined to accept a directed reassignment, outside the commuting area, which was not provided for in employee's position description or Action is effected under 5 U.S.C., chapter 75 Action is effected under agency 330 Removal V9A 5 U.S.C. 75 Reas employment agreement procedures, equivalent to those under 5 U.S.C., chapter 75, that afford employee appeal rights V9B 5 U.S.C. 75 Reas-Eq 23 Action is effected under procedures that do not afford employee appeal rights 24 Because employee declined to accompany his or her function or activity when it was moved outside of the employee's commuting area Action is effected under 5 U.S.C., chapter Action is effected under agency procedures, equivalent to those under 5 U.S.C., chapter 75, that afford employee appeal rights 26 Action is effected under procedures that do not afford employee appeal rights 357 Termination USM (Enter Agency Authority) 330 Removal VJJ 5 U.S.C. 75 Relo V2J 5 U.S.C. 75 Relo-Eq 357 Termination UTM (Enter Agency Authority) 27 Based on unacceptable or unsatisfactory performance (when employee's conduct is not a factor) Is effected under Part 432, Civil Service Regulations 330 Removal QGM Reg

21 Chapter 31. Separations by Other than Retirement Table 31-B. Documenting Separations Other than Resignations and Retirements (Continued) Rule If Separation Is And Then NOA Is Auth NOAC Is Code Is Authority Is 28 Based on unacceptable or unsatisfactory performance (when employee's conduct is not a factor) Is effected under agency procedures, equivalent to those required under part 432, Civil Service Regulations, that afford employee appeal rights 330 Removal QHM Reg Eq 29 Based on unacceptable or unsatisfactory performance or other factors unrelated to misconduct or delinquency Action is processed under part 752D, Civil Service Regulations 30 Action is processed under agency regulations, equivalent to those required under part 752D, Civil Service Regulations, that afford employee appeal rights 31 Employee is serving an initial probationary period 32 Employee is serving a trial period required by civil service or agency regulation 33 Employee is currently serving a probationary period in the Senior Executive Service 385 Termination during prob/ trial period VWP 5 U.S.C VWR 5 U.S.C Eq L2M Reg L4M Reg Eq V2M 5 U.S.C Employee is serving on an appointment not described in Rules that does not afford appeal rights 357 Termination ZLK (Enter Law, Executive Order or Regulation that authorizes termination because of performance)

22 31-22 THE GUIDE TO PROCESSING PERSONNEL ACTIONS Table 31-B. Documenting Separations Other than Resignations and Retirements (Continued) Rule If Separation Is And Then NOA Is Auth NOAC Is Code Is Authority Is 35 Based on employee's conduct or Is effected under 5 U.S.C., 330 Removal V6J 5 U.S.C. 75 Postappt 36 delinquency after entrance on duty (when work performance is not a factor and the separation is not covered under Rules 27-34) chapter 75 (under civil service adverse action procedures) Is effected under an agency authority, following procedures that are equivalent to those required under 5 U.S.C., chapter 75, that afford employee appeal rights V8J 5 U.S.C. 75 Postappt-Eq 37 Is effected during an initial appointment probation 38 Is effected during a trial period required by civil service or agency regulations 385 Termination during prob/ trial period L2M Reg L4M Reg Eq 39 Is effected during the probationary period of a Senior Executive Service career appointee VYM 5 U.S.C Postappt 40 Employee is serving on an appointment other than one described in Rules that does not afford appeal rights 357 Termination ZLJ (Enter Law, Executive Order or Regulation that authorizes termination because of misconduct)

23 Chapter 31. Separations by Other than Retirement Table 31-B. Documenting Separations Other than Resignations and Retirements (Continued) Rule If Separation Is And Then NOA Is Auth NOAC Is Code Is Authority Is 41 Because of employee's conduct or delinquency after entrance on duty and because of unacceptable performance Is effected under 5 U.S.C., chapter 75 (under civil service adverse action procedures) 330 Removal VAJ 5 U.S.C Is effected under an agency authority, following procedures equivalent to those required under 5 U.S.C., chapter 75, that affords employee appeal rights VHJ 5 U.S.C. 75 Eq 43 Is effected during an initial appointment probation 44 Is effected during a trial period required by civil service or agency regulations 45 Is effected during the probationary period of a Senior Executive Service career appointee 46 Employee is serving on an appointment other than one described in Rules that does not afford appeal rights 385 Termination during prob/ trial period L5M LXM Reg Mix Reg Eq Mix V2M 5 U.S.C Termination ZLL (Enter Law, Executive Order, or Regulation that authorizes termination because of both misconduct and performance)

24 31-24 THE GUIDE TO PROCESSING PERSONNEL ACTIONS Table 31-B. Documenting Separations Other than Resignations and Retirements (Continued) Rule If Separation Is And Then NOA Is Auth NOAC Is Code Is Authority Is 47 Because of conditions arising in whole or Is effected under 5 U.S.C., 330 Removal V5J 5 U.S.C. 75 Preappt 48 in part before employee's entrance on duty, such as making false statements on application/ resume or failure to qualify in investigation chapter 75 (under civil service adverse action procedures) Is effected under an agency authority, following procedures equivalent to those required under 5 U.S.C., chapter 75 V7J 5 U.S.C. 75 Preappt Eq 49 Is effected during an initial appointment probation 50 Is effected during a trial period required by civil service or agency regulations 385 Termination during prob/ trial period L6M Reg L8M Reg Eq 51 Is effected during the probationary period of a Senior Executive Service career appointee VUM 5 U.S.C Preappt 52 Employee is serving on an appointment other than one described in Rules that does not afford appeal rights 53 Instructed by the Merit Systems Protection Board 357 Termination UXM (Enter Law, Executive Order, or Regulation that authorizes the termination) VAA 5 U.S.C Instructed by the Office of Personnel Management Is based on suitability reasons 330 Removal RYM Reg

25 Chapter 31. Separations by Other than Retirement Table 31-B. Documenting Separations Other than Resignations and Retirements (Continued) Rule If Separation Is And Then NOA Is Auth NOAC Is Code Is Authority Is 55 Instructed by the Office of Personnel Management Is based on reasons other than suitability 357 Termination A3M CS Rule V 56 Effected by agency head in the interest of national security 330 Removal V4J and ZEM 5 U.S.C and E.O Required because employee failed, because of misconduct or delinquency, to qualify for conversion under Regulation Action is effected under procedures of 5 U.S.C., chapter Action is not effected under procedures of 5 U.S.C., chapter Because employee failed to qualify for conversion under Regulation for reasons other than conduct or delinquency, such as for failure to pass an examination Action is effected under 5 U.S.C., chapter Action is not effected under 5 U.S.C., chapter Because employee abandoned his or her position (see Note 4 of this table) 62 Of a reemployed annuitant serving at the will of the appointing authority Adverse action removal procedures are not followed The basis and procedure for the termination are not covered in Rules LTM and VAJ Reg (c)-conduct and 5 U.S.C Termination LTM Reg (c)-conduct 330 Removal LUM and VAJ Reg (c) and 5 U.S.C Termination LUM Reg (c) C7M Reg Abandonment VCM 5 U.S.C. 3323

26 31-26 THE GUIDE TO PROCESSING PERSONNEL ACTIONS Table 31-B. Documenting Separations Other than Resignations and Retirements (Continued) Rule If Separation Is And Then NOAC Is NOA Is 63 For employee to accept employment with The employee will continue to 390 Separation-Appt a non-federal Government entity that receive Federal benefits In (name of takes over his or her Federal functions entity) >64 Because of death of employee in the line of duty (see note 5 of this table) 354 Death in the Line of Duty< Auth Code Is ZLM Authority Is (Cite specific statute that authorizes the transfer of function) >65< Under circumstances not described elsewhere in this table Employee is entitled to appeal the separation >66< Employee is not entitled to appeal the separation 330 Removal ZLM (Enter Law, Executive Order or Regulation that 357 Termination authorizes the action) NOTES: 1. Although an employee may submit a resignation in such cases, resignation is not required. Do not document the action as a resignation. When employee is moving to the other agency because of a reduction-in-force separation, document the action as a 356/Separation-RIF following the instructions in Rules 16 and When employee is on grade retention, compare the grade being retained with the grade of the position to which he or she is moving in order to determine if the move is to a position at a higher or lower grade. 3. The agency should review a copy of the orders assigning the employee s sponsor to a new duty station before using this code. 4. If employee is later found, in fact, to have resigned before the termination was processed, the termination can be corrected (following the procedures in Chapter 32) to show a resignation. >5. Unless the cause of death occurred while in the line of duty, use rule 1 to document the death of an employee. Death in the line of duty results when the deceased employee was a victim of a criminal act, an act of terrorism, a natural disaster, or other circumstances as determined by the President and is documented using rule 64. If at the time of processing the action a determination of death in the line of duty is pending confirmation, document the action using rule 1 and should the finding later confirm that the cause of death occurred while in the line of duty, process a 002/Correction action to reflect the guidance in rule 64.<

27 Chapter 31. Separations by Other than Retirement Table 31-C. Codes for Required Remarks (Important: More than One Rule May Apply.) Rule If And And 1 Nature of action code is not 350 >or 354< Then Required Remarks Codes Are (See Note 1 of this table) M67 2 Employee is resigning Gave a reason for resignation R19 3 Gave no reason for resigning S68 4 Employee's reason for resigning is workconnected Employee was advised of the Employee filed a grievance M26 5 opportunity to file a grievance (see Notes 2 and 3 of this table) Employee did not file a grievance M27 6 Senior Executive Service Career Appointee is resigning Resigns after receiving notice of removal or placement out of the Senior Executive Service during probation M58 7 Resigns after receiving notice of placement out of the Senior Executive Service for less than fully successful performance following completion of Senior Executive Service probation 8 Resigns after receiving notice of placement out of the Senior Executive Service because of failure to be recertified Is applying for discontinued service retirement under the Civil Service Retirement System 9 Is applying for discontinued service retirement under the Federal Employees Retirement System M58 and S82 M58, S82, and S83 M58, S82, and S84

28 31-28 THE GUIDE TO PROCESSING PERSONNEL ACTIONS Table 31-C. Codes for Required Remarks (Important: More than One Rule May Apply.) (Continued) Rule If And And 10 Employee resigns after being given written notice of adverse action the Office of Personnel Management or agency proposes to take Employee has been serving on an appointment which does afford appeal rights (see Note 2 of this table) The action proposed was a separation action 11 The action proposed was a demotion S32 12 The action proposed was a suspension S33 13 Employee resigns after being given written notice of adverse action the Office of Personnel Management or agency has decided to take The pending action was a separation action 14 The pending action was a demotion S29 15 The pending action was a suspension S30 Then Required Remarks Codes Are (See Note 1 of this table) S31 S28 16 Employee resigns after receiving notice that within-grade increase will be denied but before the 888/Denial of Within-grade Inc action is effected 17 Employee resigns during initial appointment probation S80 S65 18 Employee resigns during trial period S66

29 Chapter 31. Separations by Other than Retirement Table 31-C. Codes for Required Remarks (Important: More than One Rule May Apply.) (Continued) Rule If And And 19 Employee is serving a probationary period for a supervisory (or managerial) position Resigns after being notified of proposed position change for failure to satisfactorily complete that probationary period Then Required Remarks Codes Are (See Note 1 of this table) S74 20 Resigns after being notified of decision on position change as a result of failure to satisfactorily complete that probationary period S75 21 Employee received a reduction-in-force notice Was offered another job Declined the offer without giving a reason S51, S54, and S56 22 Gave reasons for declining the offer S51, S54, and R55 23 Was not offered another job S51 and S58 24 Separation is based on employee's declination of relocation 25 Separation is based on employee's declination of assignment R53 R52 26 Employee is terminated after receiving a The termination was for reasons other than The action proposed was a separation S42 27 written notice of adverse action proposed by the Office of Personnel Management or the proposed adverse action (see Note 2 of this table) The action proposed was a demotion S41 28 agency (see Note 6 of this table) The action proposed was a suspension S40 29 Employee is terminated after receiving a The termination was for reasons other than The decision was a separation S45 30 written notice of decision on an adverse action proposed by the Office of Personnel the pending adverse action (see Note 2 of this table) The decision was a demotion S44 31 Management or agency (see Note 6 of this table) The decision was a suspension S43

30 31-30 THE GUIDE TO PROCESSING PERSONNEL ACTIONS Table 31-C. Codes for Required Remarks (Important: More than One Rule May Apply.) (Continued) Rule If And And 32 Separation is ordered by the Merit Systems Protection Board 33 Separation is ordered by the Office of Personnel Management 34 Separation is NOT ordered by the Office of Personnel Management or the Merit Systems Protection Board Then Required Remarks Codes Are (See Note 1 of this table) S73 S46 S47 35 Nature of Action is 355/Termination Exp of Appt 36 Employee separates to accompany a U.S. Government military or civilian sponsor overseas (outside the United States) 37 Employee was entitled to Sole Survivorship veterans preference 38 Employee's total salary includes payment for administratively uncontrollable overtime (AUO) 39 Employee's total salary includes a supervisory differential Employee refused extension of appointment Block 23 of the SF-50 reflects 7 S57 S78 E59 P82 P80 40 >Nature of action code is 350 or 354 Employee was in phased retirement status at time of death M19<

31 Chapter 31. Separations by Other than Retirement Table 31-C. Codes for Required Remarks (Important: More than One Rule May Apply.) (Continued) Rule If And And 41 Employee's total salary includes availability pay Then Required Remarks Codes Are (See Note 1 of this table) P98 42 Pay in position from which employee is separating has been set at a special rate under 5 U.S.C Employee was receiving (or was entitled to receive) severance pay at the time of current appointment based upon a previous separation (see Note 4 of this table) Severance pay is to be resumed by agency responsible for severance pay fund (see Note 5 of this table) 44 Employee lost entitlement to severance pay (see Note 5 of this table) 45 Severance pay is to be recomputed by agency responsible for severance pay fund (see Note 5 of this table) 46 Employee is entitled to severance pay based upon the separation (see Note 5 of this table) P05 N20 N23 N21 N22 and N59 47 Employee's separation is involuntary Employee is not entitled to severance pay N23 48 Employee completed requirements for a within-grade increase on or before separation date The within-grade increase was not effected P16

32 31-32 THE GUIDE TO PROCESSING PERSONNEL ACTIONS Table 31-C. Codes for Required Remarks (Important: More than One Rule May Apply.) (Continued) Rule If And And 49 Employee will receive lump sum payment for annual leave The exact number of hours of unused annual leave is known Retained rate will terminate during period of lump sum payment 50 Retained rate will not terminate during period of lump sum payment Then Required Remarks Codes Are (See Note 1 of this table) N26 and P18 N26 51 Employee does not have retained rate 52 The exact number of hours of unused annual leave is not yet available Retained rate will terminate during period of lump sum payment N27 and P18 53 Retained rate will not terminate during period of lump sum payment N27 54 Employee does not have retained rate 55 Employee has been in nonpay status during current calendar year 56 Separation is from intermittent employment Total nonpay status during current calendar year exceeds 6 months Employment has been without compensation (WC) G31 G29 (see Note 7 of this table) 57 Employment has been with pay G30 (see Note 7 of this table)

33 Chapter 31. Separations by Other than Retirement Table 31-C. Codes for Required Remarks (Important: More than One Rule May Apply.) (Continued) Rule If And And 58 Employee may be barred from annuity under 5 U.S.C. chapter 83, subchapter II Employee is eligible to apply for an immediate annuity Then Required Remarks Codes Are (See Note 1 of this table) M61 59 Employee is not eligible to apply for an immediate annuity M60 60 Separation results from work-related injury/disability (see 5 U.S.C. 8102) Employee is eligible for continuation of pay N11 and N12 61 N10 62 Employee, who is separating from Federal service, has life insurance coverage Employee has made an assignment of life insurance coverage B69 63 Employee has not made an assignment of life insurance coverage 64 >Is separating to enter on active duty with the uniformed services > 65< Employee, who is separating from Federal service, has health benefits coverage Separation is involuntary due to gross misconduct (see Note 8 of this table) Is not being placed on the Office of Workers Compensation Programs rolls B46 B76< B47 > 66< Separation is not described in Rule >65< B53

34 31-34 THE GUIDE TO PROCESSING PERSONNEL ACTIONS Table 31-C. Codes for Required Remarks (Important: More than One Rule May Apply.) (Continued) Rule If And And >67 < Employee has elected to retain coverage under a retirement system for Nonappropriated Fund employees Then Required Remarks Codes Are (See Note 1 of this table) B63 >68 < Employee under the Federal Employees Retirement System is separated after attaining the minimum retirement age (MRA) and completing 10 years of creditable service (see HUThe CSRS and FERS HandbookUH, Chapter 42) B62 >69 < Employee under the Federal Employees Retirement System is separated after completing 10 years of creditable service (see HUThe CSRS and FERS HandbookUH, Chapter 42) B61 >70 < Employee is transferred to an international organization M62 >71 < Employee separates to go to the American Institute in Taiwan under P.L M04 >72 < Senior Executive Service (SES) appointee who has guaranteed placement rights is being appointed to a non-ses position in another agency The action is based on unacceptable performance during probation, less than fully successful performance following probation, or failure to be recertified M58 >73 < Employee abandoned his or her position S20

35 Chapter 31. Separations by Other than Retirement Table 31-C. Codes for Required Remarks (Important: More than One Rule May Apply.) (Continued) Rule If And And 74 Employee will have reemployment rights M64 Then Required Remarks Codes Are (See Note 1 of this table) 75 Employee is separating from an excepted service appointment, a Senior Executive Service appointment, or a temporary or term appointment in the competitive service Is a nonveteran who previously held a career-conditional appointment Current employment occurred within 3 years after separation from that careerconditional appointment M83 76 Action is a 357/Termination Reason for the action is not described in S48 77 Action is a 330/Removal Rules 1-75 and employee was serving on an appointment that did provide appeal rights (see Note 2 of this table) S47 78 Employee is a senior political appointee P83 whose position is subject to >the pay freeze for certain senior political officials< NOTES: 1. See Table 31-D to translate codes into actual remarks. 2. When employee is serving an initial appointment probation, a trial period required by civil service or agency regulations, or on an appointment which does not afford appeal rights, NO agency findings regarding employee's resignation or agency reasons for termination may be placed on the Standard Form When employee's reason for resigning is work-connected, the employee may file a grievance. Check with the personnel specialist who approved the action to determine if the employee was so advised; if so, ask which of these remarks applies. 4. Remarks on the separation Standard Form 50 for the previous separation and on the Standard Form 50 for the current appointment should show whether or not employee was entitled to and/or received severance pay based upon a previous separation. 5. See 5 CFR part 550, subpart G, to determine conditions under which employee is entitled to severance pay, severance pay will be recomputed or resumed, and conditions under which severance pay entitlement is lost.